FacultyFaculty/Author Profile

Randall W. Roy

U.S. Securities and Exchange Commission
Deputy Associate Director, Division of Trading and Markets
Washington, DC, USA


Mr. Roy, an attorney, joined the Commission in February 1999 and has spent his entire tenure in the Office of Financial Responsibility within the Division of Trading and Markets. This office is responsible for administering the broker-dealer financial responsibility rules, including the net capital rule, customer protection rule, books and records rules, and financial reporting rule. The office also is responsible for administering the capital, margin, segregation, recordkeeping, and reporting rules for security-based swap dealers under Title VII of the Dodd-Frank Act. Other office responsibilities include reviewing the broker-dealer customer margin rules of the self-regulatory organizations and administering the Commission’s oversight of the Securities Investor Protection Corporation (SIPC).

Mr. Roy received a Bachelor of Arts degree from Middlebury College and a Juris Doctor degree from Catholic University. 
Randall W. Roy is associated with the following items:
Web Segment  Web Segment Workshop G: Trading and Markets - The SEC Speaks in 2018, Tuesday, February 27, 2018
MP3 Audio  MP3 Audio Workshop G: Trading and Markets - Workshop G: Trading and Markets, Tuesday, February 27, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Workshop G: Trading and Markets - Workshop G: Trading and Markets, Tuesday, February 27, 2018
On-Demand Web Programs  On-Demand Web Programs The SEC Speaks in 2018, Saturday, March 03, 2018, Washington, DC
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